Systems and methods of controlling network access

ABSTRACT

A new approach to network security includes manipulating an access point such that an initial communication from an external device is passed to a restricted subset of a computing network including a gatekeeper. The gatekeeper is configured to enforce a security policy against the external device before granting access to a less-restricted subset of the computing network. If requirements of the security policy are satisfied, then the gatekeeper reconfigures the access point such that further communication from the external device may be received by elements of the less-restricted subset. Enforcement of the security policy optionally includes performing a security audit of the external device.

CROSS-REFERENCE TO RELATED APPLICATIONS

The present application is a continuation and claims the prioritybenefit of U.S. patent application Ser. No. 13/371,381 filed Feb. 10,2012, which is a continuation and claims the priority benefit of U.S.patent application Ser. No. 13/157,309 filed Jun. 10, 2011, now U.S.Pat. No. 8,117,645, which is a continuation and claims the prioritybenefit of U.S. patent application Ser. No. 12/273,037 filed Nov. 18,2008, now U.S. Pat. No. 8,051,460, which is a continuation and claimsthe priority benefit of U.S. patent application Ser. No. 10/949,179filed Sep. 24, 2004, now U.S. Pat. No. 7,523,484, which claims thepriority benefit of U.S. provisional application No. 60/513,080 filedOct. 21, 2003 and U.S. provisional application No. 60/505,582 filed Sep.24, 2003. The disclosures of the aforementioned applications areincorporated herein by reference.

BACKGROUND OF THE INVENTION

1. Field of the Invention

The invention is in the field of computing systems and more specificallyin the field of network security.

2. Description of the Related Art

Several approaches to controlling external access to computing networkshave been developed. The goals in developing these approaches includelimiting access to authorized users and assuring that computing devicesemployed by these users do not include malicious computing code such asviruses, worms, or Trojan horses. The need for access control has grownwith users' demands for accessing secure networks over the Internet andfrom personal devices such as laptop computers and personal digitalassistants.

A first level of access control is achieved by requiring authenticationof a user. This may be accomplished by requiring the user to enter ausername and password or by reading a MAC address or other identifyinginformation from an access device. In some systems, a network switch isprogrammed to grant access to a secure network only after properauthentication is achieved. Systems capable of using this approachinclude those using a proprietary VMPS protocol from Cisco Systems, Inc.of San Jose, Calif. or using a IEEE 802.1x standard protocol.

Reliance on mere user authentication includes several disadvantages. Forexample, there are no provisions to assure that an access device used bythe authenticated user meets network security policies. The accessdevice may have out-of-date virus software, may have securityvulnerabilities, or may be otherwise compromised. Further, this approachrequires that access points (e.g., network switches) support one of aspecific set of access protocols. Because many access points do notsupport VMPS, 802.1x, or a similar protocol, implementation of thisapproach on a large preexisting network, such as a corporate network,may be prohibitively expensive.

A greater level of access control may be achieved by including agatekeeper between the secure network and the access device. Thegatekeeper is configured to ensure that the access device conforms to apredetermined security policy. FIG. 1 is a block diagram of a SecureNetwork, generally designated 100, including two instances of aGatekeeper 110 each associated with a different instance of an AccessPoint 120. Secure Network 100 further includes, as an illustrativeexample, a network File Server 130, a Network PC (personal computer) 140and a Printer 150 included in and connected via, a local area networkdesignated LAN 125.

Each instance of Access Point 120 may include a large number ofindividual communication ports. These ports are used to connect throughGateKeeper 110 to other elements within Secure Network 100 such as FileServer 130 or LAN 125. Large corporate networks may include manyinstances of Access Point 120, each including hundreds of individualcommunication ports and being associated with an instance of GateKeeper110.

Some instances of Access Point 120 are capable of supporting virtuallocal area networks (VLANs). VLANs are generated by associatingcommunication ports within Access Point 120 with separate virtualnetworks. For example, one Access Device 160 may be placed on adifferent VLAN than another Access Device 160 by assigning thecommunication ports of Access Point 120 to separate VLANs. From thepoint of view of these devices, the effect of a VLAN is equivalent tohaving a separate hardwired network.

GateKeeper 110 is configured to control access to Secure Network 100. Inaddition to authenticating users who wish to access Secure Network 100using an Access Device 160, GateKeeper 110 is configured to ensure thatAccess Device 160 conforms to a predetermined security policy, beforegranting access to Secure Network 100. For example, GateKeeper 110 maymake certain that Access Device 160 has up-to-date virus software andencryption protocols as proscribed by the security policy. OnceGateKeeper 110 has verified that Access Device 160 satisfies thesecurity policy, Access Device 160 is allowed to communicate throughGateKeeper 110 to LAN 125.

A disadvantage of the use of GateKeeper 110, as practiced in the priorart, is that all communications between Access Device 160 and LAN 125pass through GateKeeper 110. For large networks including many instancesof Access Point 120, each of which may include many communication ports,this can be a significant burden. The use of one instance of GateKeeper110 to support numerous instances of Access Device 160 is limited bybandwidth and required sophistication (e.g., cost) of GateKeeper 110. Itis undesirable for GateKeeper 110 to become a limiting factor on thebandwidth of communication between instances of Access Device 160 andSecure Network 100. Further, the use of a separate GateKeeper 110 foreach instance of Access Device 160 or Access Point 120 is oftenprohibitively expensive. Even if a separate GateKeeper is used for eachAccess Point 120, there is no isolation between compliant andnon-compliant Access Devices 160 which are attached to the same AccessPoint 120.

There is, therefore, a need for improved systems and methods ofcontrolling access to secure networks.

SUMMARY OF THE CLAIMED INVENTION

Systems and methods of the invention include a protected networkphysically or logically divided into a restricted subset and one or moreless-restricted subsets. Requests from an access device for access tothe less-restricted subset are first passed to the restricted subset.Elements (e.g., a gatekeeper) of the restricted subset are then used toapply security policies to the access device and if security policiesare satisfied, the access device is granted access to a less-restrictedsubset of the protected network. The passing of access requests to therestricted subset and granting of access are accomplished by configuringand reconfiguring a communication port of an access point. After accessis granted, further communication between the access device and theprotected network can include access to the less restricted subset.

Typically, the less-restricted subset of the protected network and therestricted subset of the protected network are characterized by VirtualLocal Area Networks (e.g., VLANs) defined within the access point andoptionally by access control lists (ACL) of a router, firewall, orswitch situated between the VLAN and the protected network. DifferentVLANs within the same access point, or within different access points,may be configured to characterize a plurality of restricted subsetsand/or a plurality of less-restricted subsets within the protectednetwork. A communication port of the access point is configured suchthat network traffic directed at the protected network is initiallypassed through a restricted VLAN rather than through a less-restrictedVLAN. The restricted VLAN allows network traffic to pass to therestricted subset of the protected network and is typically restrictedin the sense that it only allows access to elements of the protectednetwork that are configured to communicate with an access device whosesecurity characteristics are unknown or questionable. In contrast, theless-restricted VLAN allows access to the less-restricted subset of theprotected network and, in typical embodiments, to elements of both theless-restricted subset and the restricted subset. For example, therestricted VLAN allows traffic to pass to a gatekeeper configured toreceive requests for access to the less-restricted VLAN, and todetermine if, and to what extent, access may be allowed. To grantaccess, the gatekeeper sends commands to the access point in order toreconfigure a communication port to which the access device isconnected. The reconfiguration typically includes reassigning thecommunication port from the restricted VLAN to the less-restricted VLAN.

Subsequent to reconfiguration of the communication port, network trafficcan pass from the access device through the less-restricted VLAN toelements of both the less-restricted subset and (optionally) therestricted subset. This network traffic need not pass through thegatekeeper. Thus, in various embodiments of the invention a gatekeeperis used to grant access to the less-restricted subset, and after accesshas been granted, most network traffic does not need to pass through thegatekeeper. For example, in some embodiments, the gatekeeper onlyreceives requests to access the less-restricted network and dataregarding access to and security of the protected network. This data maybe received from administrators, access devices, access points, routers,and/or other devices on the network. These limited communications withgatekeeper occur both before and after reconfiguration of thecommunication port, and eliminate a significant disadvantage associatedwith the use of prior art gatekeepers.

Various embodiments of the invention include a computing networkcomprising a less-restricted subset of the computing network, access tothe less-restricted subset being responsive to a first VLAN, arestricted subset of the computing network including a gatekeeper, thegatekeeper configured to receive requests for access to theless-restricted subset from an access device and to issue commandsconfigured to allow access to the less-restricted subset, access to therestricted subset of the computing network being responsive to a secondVLAN, and at least one access point including a communication portconfigurable for communication with the less-restricted subset oralternatively for communication with only the restricted subset,configuration of the communication port including association of thecommunication port alternatively with the first VLAN or the second VLAN,configuration of the communication port being responsive to the commandsissued by the gatekeeper. Other elements are optional.

Various embodiments of the invention include a network gatekeepercomprising at least one security policy including requirements that mustbe satisfied before an access device is granted access to aless-restricted subset of a protected network, a policy auditorconfigured to audit an access device using the at least one securitypolicy, in response to a request to access the less-restricted subset ofthe protected network, the request being sent from the access device tothe gatekeeper via a communication device, and an access controlconfigured to reconfigure the communication device such that data sentfrom the access device can be received by the less-restricted subset ofthe protected network rather than merely a restricted subset of theprotected network, if the audit results in a determination that theaccess device meets the requirements of the at least one securitypolicy, the restricted subset of the protected network including thegatekeeper. Other elements are optional.

Various embodiments of the invention include a method of granting accessto a protected network, the method comprising receiving a request foraccess to a less-restricted subset of the protected network from anaccess device external to the protected network, the request beingreceived through a communication port of an access point, thecommunication port configured for communicating between the accessdevice and a restricted subset of the protected network, the restrictedsubset including a gatekeeper, applying a security policy to the accessdevice, responsive to the request, and reconfiguring the communicationport for communicating between the access device and the less-restrictedsubset of the protected network, if requirements of the security policyare satisfied. Other steps are optional.

Various embodiments of the invention include a method of granting accessto a protected network, the method comprising receiving a firstcommunication from an access device at a communication port, thecommunication port being configured to pass the first communication to arestricted subset of the protected network, the restricted subsetincluding a gatekeeper configured to enforce security policy for accessto a less-restricted subset of the protected network, receiving acommand from the gatekeeper, the command being responsive to thereceived first communication and being configured to reconfigure thecommunication port to communicate data to the less-restricted subset ofthe protected network, configuring the communication port to communicatedata to the less-restricted subset of the protected network rather thanmerely the restricted subset of the protected network, responsive to thereceived command, and receiving a second communication from the accessdevice at the communication port, the communication port now beingconfigured to pass the second communication to the less-restrictedsubset of the protected network. Other steps are optional.

Various embodiments of the invention include a computing networkcomprising means for dividing the computing network into a restrictedsubset and a less-restricted subset, means for receiving a request atthe restricted subset, the request being to access the less-restrictedsubset, means for enforcing a security policy in response to therequest, and means for allowing communication to the less-restrictedsubset, responsive to the enforcement of the security policy, thecommunication to the less-restricted subset not necessarily passingthrough the restricted subset. Other elements are optional.

In various embodiments of the invention the restricted subset of acomputing network includes elements configured to communicate withaccess devices having an unknown or questionable security status, andthe less-restricted subset of the computing network includes thoseelements of the computing network not included in the restricted subset.

BRIEF DESCRIPTION OF THE DRAWINGS

FIG. 1 is a block diagram of a prior art computing network;

FIG. 2 is a block diagram of a protected network, according to variousembodiments of the invention;

FIG. 3A is a block diagram showing further details of an access point,router and gatekeeper of FIG. 2, according to various embodiments of theinvention;

FIG. 3B is a block diagram showing further details of the access point,router and gatekeeper of FIG. 2, after access has been granted to aless-restricted subset of a protected network, according to variousembodiments of the invention; and

FIG. 4 is a flowchart illustrating a method of granting access to aprotected network, according to various embodiments of the invention.

FIG. 5 is a block diagram showing EAP over 802.1x/Radius.

FIG. 6A is a block diagram showing a client in authentication state.

FIG. 6B is a block diagram showing a server in authentication state.

FIG. 7 is a block diagram showing a server changing to audit state.

FIG. 8A is a block diagram showing a server in audit state.

FIG. 8B is a block diagram showing a client responding to auditrequests.

FIG. 9 is a block diagram showing a system in 802.1x mode where normaltraffic does not traverse CGS.

DETAILED DESCRIPTION

Access to a protected computing network is controlled by manipulating acommunication port within an access point. When an access request isfirst received, the communication port is configured to pass the requestto a restricted subset of a protected computing network. This restrictedsubset includes a gatekeeper configured to administer a security policygoverning access to those parts of the protected computing network thatare not part of the restricted subset. Those parts of the protectedcomputing network that are not part of the restricted network areconsidered to be in a less-restricted subset. The less-restricted subsetbeing less restricted relative to the restricted subset in terms of whatelements may be included in each subset. If the device requesting accesssatisfies requirements of the security policy, then the gatekeeper sendscommands to the access point in order to reconfigure the communicationport through which the access request was received. The communicationport is reconfigured such that further communication from the accessdevice is passed to the less-restricted subset as well as, optionally,the restricted subset. In some embodiments, the less-restricted subsetand the restricted subset are characterized by VLANs defined within theprotected network.

FIG. 2 is a block diagram of a Protected Network 200, according tovarious embodiments of the invention. Protected Network 200 is eitherphysically or logically divided into a Restricted Subset 205 and aLess-Restricted Subset 210. Access to Protected Network 200 is possiblethrough an Access Point 215 (a communication device) and an optionalRouter 220. As is described further herein this access is under thecontrol of a GateKeeper 225. GateKeeper 225 is configured to enforce asecurity policy against one or more Access Device 230 requesting accessto Less-Restricted Subset 210. Typically, Less-Restricted Subset 210 andRestricted Subset 205 are characterized by VLAN settings within AccessPoint 215. Access Device 230 and Access Point 215 are connected by acommunication channel such as a cable, the Internet, a telephonenetwork, other computing network, and/or the like. In some embodiments,a network access server (not shown) is included between Access Device230 and Access Point 215.

In various embodiments, Protected Network 200 includes a corporatenetwork, telephone network, private network, local area network, widearea network, wireless network, communication network, governmentnetwork, university network, and/or the like. Restricted Subset 205 is asubset of Protected Network 200 including at least GateKeeper 225. Insome embodiments, Restricted Subset 205 further includes a DHCP (dynamichost configuration protocol service) 260 configured to assign and managenetwork addresses, and/or an Update Module 255 configured for providingsecurity updates to Access Device 230. For example, in one embodiment,Restricted Subset 205 includes a server configured to function as DHCP260 and a server configured to function as GateKeeper 225. In oneembodiment, Restricted Subset 205 includes a single computing deviceconfigured to function as both Update Module 255 and GateKeeper 225.

Less-Restricted Subset 210 includes those elements of Protected Network200 not included in Restricted Subset 205. Less-Restricted Subset 210optionally includes devices such as a File Server 235, a Network PC 240,a Printer 245, or the like. In some embodiments, Protected Network 200includes elements having a hierarchy of access restrictions. Forexample, access to Network PC 240 may require a higher level ofauthority than access to File Server 235. In this case, as describedfurther herein, access control lists within Router 220 are optionallyused to independently control access to specific devices withinLess-Restricted Subset 210. Protected Network 200 may be large,including tens, hundreds, or thousands of devices. The hierarchy ofaccess restrictions may be enforced by a hierarchical set of securitypolicies defined using Policy Manager 250. In various embodiments,Router 220 and Access Point 215 may be considered part of RestrictedSubset 205 or Less-Restricted Subset 210.

GateKeeper 225 is configured to enforce one or more security policiesagainst an instance of Access Device 230 attempting to access ProtectedNetwork 200. The security polices may include requirements for useridentification such as user names and passwords, configurationrequirements relating to the configuration of Access Device 230,application requirements relating to applications running on AccessDevice 230, or the like. For example, in one embodiment GateKeeper 225is configured to enforce a security policy that requires a user ofAccess Device 230 to provide a username and password, requires AccessDevice 230 to be running an operating system with specific securitypatches installed, requires that Access Device 230 not be connected toany insecure devices, and requires that Access Device 230 have currentantivirus software installed.

In some embodiments, GateKeeper 225 is configured to enforce severalalternative security policies having different levels of requirements,and to determine which security policy to enforce based on the identityof Access Device 230, the identity of a user of Access Device 230, thoseelements of Less-Restricted Subset 210 to which access is requested,and/or the like. For example, a request to access File Server 235 mayhave to satisfy a security policy that includes scanning Access Device230 for malicious code, while a request to access Printer 245 may haveto satisfy a security policy that includes establishing a user identity.Security policies may be stored on GateKeeper 225, on Policy Manager250, or elsewhere accessible to Restricted Subset 205.

In some embodiments, a single instance of GateKeeper 225 is configuredto manage access through more than one Access Point 215 and/or to manageaccess to more than one Protected Network 200. As is described furtherherein, management of Access Point 215 is accomplished by configuringand reconfiguring one or more communication ports within Access Point215, and optionally setting access control lists within Router 220. Insome embodiments Protected Network 200 includes a plurality of AccessPoint 215, a plurality of GateKeeper 225 and/or a plurality ofRestricted Subset 205. Further details of GateKeeper 225 and AccessPoint 215 are discussed below.

Access Device 230 is a computing device configured to operate as an endpoint (EP) in a communication channel including Access Point 215 andAccess Device 230. In various embodiments, Access Device 230 is apersonal computer, a personal digital assistant, a telephone, a wirelessdevice, a communication device such as a router, Ethernet card, wirelesscard, another access point, a network device, or the like. Access Device230 is optionally identified by a MAC address, by a cookie, by datastored on Access Device 230, by a user name, an IP address, a networkaddress, or the like.

In some embodiments, Access Device 230 is configured to execute asoftware and/or hardware agent for communicating with GateKeeper 225.For example, in one embodiment, Access Device 230 includes an agentconfigured to monitor code running on Access Device 230 and report anysuspicious code to GateKeeper 225. In another example, Access Device 230may include software and/or hardware configured to monitor other devicesconnected to Access Device 230 and to report information about thesedevices (e.g., their security statuses or MAC addresses) to GateKeeper225.

Policy Manager 250 is configured to centrally create, update, anddistribute security policies enforced by one or more GateKeeper 225. Forexample, in various embodiments, Policy Manager 250 is configured tomanage passwords, to specify access privileges, to specify requirementsof security policies, or the like. In some embodiments, Policy Manager250 is configured to establish several security policies and to specifyconditions under which each of the security policies should be used. Forexample, a security policy may be selected for use responsive to adevice type of Access Device 230 and/or the elements of ProtectedNetwork 200 to which access has been requested.

Update Module 255 is configured for remotely modifying Access Device230, or a device connected to Access Device 230, in order to improvecompliance with a security policy. For example, if it is found thatAccess Device 230 includes out-of-date antivirus software, then UpdateModule 255 may facilitate updating of the antivirus software on AccessDevice 230. In some embodiments, Update Module 255 is configured toupdate an agent executing on Access Device 230. Update Module 255 isoptionally included in Less-Restricted Subset 210 or external toProtected Network 200. Update Module 255 optionally operates responsiveto a security policy and/or to GateKeeper 225.

FIG. 3A is a block diagram showing further details of Access Point 215,Router 220 and GateKeeper 225, according to various embodiments of theinvention. Access Point 215 is, for example, a network switch, awireless access point, a remote access virtual private network (VPN),secure socket layer VPN, firewall, or the like. When embodied in anetwork switch, Access Point 215 includes a series of communicationports, designated Ports 305A-305G and configured for communication withdevices such as Access Device 230, Router 220, Less-Restricted Subset210 and/or Restricted Subset 205.

Communication received at one member of Ports 305A-305G is directedinternally to another member of Ports 305A-305G via a member of VLANs310A-310D. VLANs 310A-310D are logical associations between members ofPorts 305A-305G. Typically, any members of Ports 305A-305G that areconfigured to be associated with the same member of VLANs 310A-310D arein bi-directional communication with each other. These associations areillustrated in FIGS. 3A and 3B by Lines 315. For example, with Ports305A-305G configured as shown in FIG. 3A, communication from AccessDevice 230 and received at Port 305A is directed to Port 305F becausePort 305A and Port 305F are both associated with VLAN 310C. (In someembodiments of Access Point 215, a member of VLANs 310A-310D may beconfigured such that some members of Ports 305A-305G, even if associatedwith the same VLAN, are hidden from each other. For example, in theseembodiments, both Ports 305A and 305B may be in communication with Port305F but not with each other.)

The associations between members of Ports 305A-305G and VLANs 310A-310Dare controlled by Switch Logic 317 which is accessible to other devices,for example through Port 305G. Switch Logic 317 is configured forconfiguring and reconfiguring members of Ports 305A-305G responsive toreceived commands. For example, by receiving an appropriate command,Switch Logic 317 is configured to reconfigure Port 305A to be associatedwith VLAN 310A, as illustrated in FIG. 3B below. In this configuration,data received at Port 305A is directed to Port 305D via VLAN 310A,rather than to Port 305F.

As is discussed further below, the commands received by Switch Logic 317may be generated by GateKeeper 225. This communication betweenGateKeeper 225 and Switch Logic 317 may be accomplished using SNMP(Simple Network Management Protocol), telnet, SSH (Secure Shell), RADIUS(Remote Authentication User Dial-In Service), EAP (ExtensibleAuthentication Protocol), or the like.

In some embodiments, Switch Logic 317 includes a memory (not shown)configured to store the status of Ports 305A-305G and/or identificationdata regarding Access Device 230. This identification data may include,for example, MAC addresses, IP (internet protocol) addresses, or otherdata that may be used to identify Access Device 230 or data sent byAccess Device 230.

Data passed through members of Ports 305D-305G are received by Router220 and may be communicated to other elements of Protected Network 200responsive to access control lists (ACL 340A-340D) associated with Ports335A-335D of Router 220. ACL 340A through 340D are each communicationfilters that deny or allow communication to be passed to specificelements or sets of elements within Protected Network 200. For example,ACL 340C may be an access control list that specifically allowscommunication to network addresses used by GateKeeper 225 and DHCP 260,and blocks communication to all other network addresses. In this case,communication through Port 335C of Router 220 would only be allowed toreach these elements of Restricted Subset 205 and would not be allowedto reach elements of Less-Restricted Subset 210.

ACL 340A-340D of Router 220 may be used to limit communication fromAccess Device 230 to specific elements of Protected Network 200. Forexample, in the embodiments illustrated by FIG. 3A, if ACL 340C isconfigured to restrict communication to Restricted Subset 205, and Ports305A-305C are associated with VLAN 310C as indicated by Lines 315, thencommunication via these members of Ports 305A-305G will be restricted toRestricted Subset 205. In typical embodiments, at least one member ofACL 340A-340D is configured to allow communication to Restricted Subset205 but not to Less-Restricted Subset 210. As is discussed furtherherein, by reconfiguring a member of Ports 305A-305C to be associatedwith a different member of VLANs 310A-310D, not subject to the filteringof ACL 340C, communications from Access Device 230 can be directed toelements within Less-Restricted Subset 210, and optionally RestrictedSubset 205, rather than merely to Restricted Subset 205.

When Access Point 215 is embodied in a wireless access point, some orall of Ports 305A-305G may be wireless connections rather than physicalports. In these embodiments, Lines 315 may represent logicalassociations used to control data flow between wireless connections toAccess Point 215 and/or members of Ports 305A-305G that are physicalcommunication ports. For example, in some embodiments, MAC addresses areused to distinguish wireless communications from different instances ofAccess Device 230 and the logical associations (represented by Lines315) are used to direct these communications to various output channels.The output channels may be other wireless connections or physicalmembers of Ports 305A-305G. These logical associations may be altered bySwitch Logic 317 just as associations with members of VLANs 310A-310Dare modified. Therefore, the teachings herein that use a network switchas an example of Access Point 215, apply equally to wireless accesspoints.

Switch Logic 317 is controlled by an Access Control 320 included inGateKeeper 225. Access Control 320 is configured to send commands toSwitch Logic 317 in order to reconfigure members of Ports 305A-305G.This reconfiguration includes modifying the association of members ofPorts 305A-305G with different members of VLANs 310A-310D. In someembodiments, as described further herein, Access Control 320 is alsoconfigured to read a status of members of Ports 305A-305G and/or deviceidentification data from Switch Logic 317.

Access Control 320 is responsive to a Policy Auditor 325 included inGateKeeper 225. Policy Auditor 325 is configured to receive a requestfor access to Less-Restricted Subset 210 from Access Device 230, todetermine which of Security Policy 330A or optional Security Policy 330Bapplies to the current request, to perform a security audit of AccessDevice 230 based on the appropriate member of Security Policies330A-330B, and to notify Access Control 320 if the audit is passed. Thisnotice typically causes Access Control 320 to reconfigure a member ofPorts 305A-305G using Switch Logic 317. For example, in someembodiments, if Security Policy 330A applies and if Access Device 230satisfies requirements of Security Policy 330A, then Policy Auditor 325provides a notice to Access Control 320. In response, Access Control 320sends appropriate commands to Switch Logic 317. These commands causechanges in Port 305A, such that communication from Access Device 230 isno longer blocked by ACL 340C and can now be received by elements ofLess-restricted Subset 310. In alternative embodiments, SecurityPolicies 330A-330B are stored elsewhere in Protected Network 200accessible to Policy Auditor 325. Restricted Subset 205 optionallyincludes one, two, or more security policy, such as Security Policies330A-330B.

FIG. 3B is a block diagram showing further details of Access Point 215,Router 220 and GateKeeper 225 of FIG. 2, after access has been grantedto elements of Less-Restricted Subset 210, according to variousembodiments of the invention. Port 305A has been reconfigured to beassociated with VLAN 310A rather than VLAN 310C. Because VLAN 310A iscommunicatively coupled to Port 305D and Port 335A (of Router 220) viaACL 340A, any communication received at Port 305A from Access Device 230is now subject to the filtering effects of ACL 340A rather than ACL340C. If ACL 340A allows communication to network addresses associatedwith one or more elements of Less-Restricted Subset 210, the abovereconfiguration of Port 305A results in a granting of access toLess-Restricted Subset 210 from Access Device 230. In some embodiments,if ACL 340A is configured to allow access to members of Less-RestrictedSubset 210 it is also configured to allow access to members ofRestricted Subset 205. Once Port 305A has been reconfigured to beassociated with VLAN 310A, future general network traffic between AccessDevice 230 and Less-Restricted Subset 210 may pass through Ports 305A,305D and 335A without passing through GateKeeper 225 or other elementsof Restricted Subset 205. Further, communication related to access tosecurity of Protected Network 200 may still be received by GateKeeper225 via Port 305A. For example, GateKeeper 225 may still receive controltraffic such as DNS lookups or DHCP requests, or requests to accessadditional elements of Protected Network 200, or requests to continue toaccess the Less-Restricted Subset 210.

In some embodiments, members of VLAN 310A-310D and ACL 340A-340D areoptionally used to grant or bar access to different subsets of ProtectedNetwork 200, Less-Restricted Subset 210, or Restricted Subset 205. Forexample, ACL 340B may be configured to grant access to File Server 235,Policy Manager 250 and GateKeeper 225. In this case, associating amember of Ports 305A-305C with VLAN 310B may provide access to thesedevices from an instance of Access Device 230. Granting of access to aspecific region of Less-Restricted Subset 210 is optionally responsiveto which member of Security Policies 330A-330B has been satisfied.

FIG. 4 is a flowchart illustrating a method of granting access toLess-Restricted Subset 210 (FIG. 2), according to various embodiments ofthe invention. In these embodiments, an Update Port Log Step 410 and aRestrict Port Step 420 are used to prepare an open (unused)communication port on Access Point 215 for receiving a request foraccess to Less-Restricted Subset 210. This request is received fromAccess Device 230 in a Receive Access Request Step 430. In response,GateKeeper 225 authenticates a user, obtains audit data, and applies asecurity policy in an Authenticate User Step 440, an Obtain Audit DataStep 450 and an Apply Security Policy Step 460, respectively. If thesecurity policy is satisfied, then in a Reconfigure Port Step 470,GateKeeper 225 reconfigures the communication port of Access Point 215to which Access Device 230 has connected. Finally, the reconfiguredcommunication port is used to pass communication between Access Device230 and one or more element of Less-Restricted Subset 210 in aCommunicate Step 480. Further details of these steps are discussedherein.

In Update Port Log Step 410, Access Control 320 reads port configurationdata from Access Point 215 to determine the current configuration ofPorts 305A-305G. If any of Ports 305A-305G have been configured by anadministrator of Access Point 215, then in Update Port Log Step 410 theadministrator specified configuration(s) are stored for later use duringReconfigure Port Step 470. Typically, the read configuration data isstored in a port configuration table, for example within GateKeeper 225.Update Port Log Step 410 is optional, as discussed further herein.

In Restrict Port Step 420, Access Control 320 configures those membersof Ports 305A-305G that may be accessed by external devices, such asAccess Device 230. These communication ports are configured to beassociated with VLAN 310C such that any data (e.g., communications) theyreceive from external devices are directed to Port 305F and, thus, tosubject to ACL 340C. ACL 340C is configured to allow communication to,for example, DHCP 260 and GateKeeper 225. As a result, any requests foraccess received from external devices are prevented from reachingLess-Restricted Subset 210 and instead are received by elements ofRestricted Subset 205. Restrict Port Step 420 results in a configurationsuch as that illustrated in FIG. 3A. In this configuration, thosemembers of Ports 305A-305G that may be accessed by external devicesinclude Port 305A, Port 305B and Port 305C. As a result of Restrict PortStep 420, these members of Ports 305A-305G are associated with VLAN 310Cand communicatively coupled to Protected Network 200 through ACL 340C.Restrict Port Step 420 is optional, for example when members of Ports305A-305C have been configured to communicate data to elements ofRestricted Subset 205 by an administrator of Access Point 215.

In Receive Access Request Step 430, a request for access toLess-Restricted Subset 210 is received at one of Ports 305A-305Cconfigured to pass data to DHCP 260 and Gatekeeper 225. Typically, thisrequest is received from an external device such as Access Device 230.Because Port 305A, Port 305B and Port 305C are configured to pass datato DHCP 260 and Gatekeeper 225, the received access request passesthrough Access Point 215 and is received by either DHCP 260 orGatekeeper 225 In typical embodiments, an initial access request isfirst acknowledged by DHCP 260 which assigns a dynamic network address(e.g., IP address) to Access Device 230 and returns, to Access Device230, a network address associated with GateKeeper 225 or morespecifically Policy Auditor 325. Using this network address, AccessDevice 230 may engage in further communication with GateKeeper 225 orPolicy Auditor 325. In some embodiments, DHCP 260 and instances ofGateKeeper 225 are associated with a local domain name serviceconfigured to provide network addresses associated with a particularinstance of GateKeeper 225 configured to manage (reconfigure) theparticular Access Point 215 to which Access Device 230 is connected.

In optional Authenticate User Step 440, Policy Auditor 325 authenticatesthe identity of Access Device 230 and/or a user of Access Device 230.This authentication may be required by a member of Security Policies330A-330B. In various embodiments, the authentication may includereceipt of a user name and password, receipt of a MAC address, readingof data stored on Access Device 230, communication with an agentexecuting on Access Device 230, or the like.

In optional Obtain Audit Data Step 450, Policy Auditor 325 collectsfurther data to perform a security audit of Access Device 230 responsiveto Security Policy 330A or Security Policy 330B. In some embodiments,Obtain Audit Data Step 450 includes sending system data requests toAccess Device 230, Router 220, or Access Point 215. The requested systemdata may include, for example, operating system status (version,updates, etc.), antivirus software status, information concerningdevices connected to Access Device 230, Windows registry information,MAC address, IP addresses, cookies, status of applications executing onAccess Device 230, or the like.

In some embodiments, Obtain Audit Data Step 450 is facilitated by anagent running on Access Device 230. For example, Access Device 230 mayinclude a software agent configured to monitor local security and toreport results of this monitoring to Policy Auditor 325.

In Apply Security Policy Step 460, a security audit of Access Device 230is performed by Policy Auditor 325 responsive to a member of SecurityPolicy 330A or Security Policy 330B. The particular member of SecurityPolicy 330A or Security Policy 330B used to perform the audit may beresponsive to the identity of Access Device 230, an identity of a userof Access Device 230, a part of Less-Restricted Subset 210 to whichaccess is requested, or the like. The security audit typically includesdetermining if Access Device 230 satisfies requirements of the securitypolicy. The security audit optionally includes active probing, scanning,and/or collection of third party data regarding Access Device 230. Insome embodiments, Authenticate User Step 440 is considered part of thesecurity policy audit.

As is discussed further herein, in some embodiments, satisfaction of allthe requirements of a particular security policy results in access toLess-Restricted Subset 210, while satisfaction of a subset of therequirements associated with the particular security policy isconsidered partial satisfaction of the security policy and may result ina more limited access to Less-Restricted Subset 210.

In some embodiments, Apply Security Policy Step 460 includes usingUpdate Module 255 (FIG. 2) to overcome deficiencies in the security ofAccess Device 230. For example, in one embodiment, Apply Security PolicyStep 460 includes updating antivirus software on Access Device 230 inresponse to a security audit that determined that the current antivirussoftware is out-of-date.

In Reconfigure Port Step 470, the communication port of Access Point215, to which Access Device 230 is communicatively connected, isreconfigured responsive to a successful security audit in Apply SecurityPolicy Step 460. This communication port is reconfigured such that datareceived by the communication port is passed to one or more elements ofLess-Restricted Subset 210 rather than merely elements of RestrictedSubset 205 (e.g., GateKeeper 225). For example, FIG. 3A shows Port 305Aprior to execution of Reconfigure Port Step 470 and FIG. 3B shows Port305A following execution of Reconfigure Port Step 470. In FIG. 3B, Port305A is associated with VLAN 310A and, thus, communicatively coupledthrough Port 305D to Protected Network 200 subject to the restrictionsof ACL 340A. The restrictions of ACL 340A allow access to all or part ofLess-Restricted Subset 210, as well as optionally all or part ofRestricted Subset 205.

In typical embodiments, reconfiguration of Port 305A is accomplished bysending commands from Access Control 320 to Switch Logic 317. Thesecommands or responses to requests from Switch Logic 317 are optionallysent via SNMP, telnet, SSH, RADIUS, EAP, or the like, and are responsiveto data received in Authenticate User Step 440 and Obtain Audit DataStep 450, and/or to the security audit performed in Apply SecurityPolicy Step 460. In response to these commands, Switch Logic 317configures Port 305A to be associated with VLAN 310A and, thus,communicate through Port 305D.

While access control lists (ACL 340A-340D) within Router 220 aretypically configured prior to Receive Access Request Step 430, in someembodiments, Reconfigure Port Step 470 further includes configuring oneor more members of ACL 340A-340D. In alternative embodiments,reconfiguring of members of ACL 340A-340D may be used to grant access toelements of Less-Restricted Subset 210 as an alternative to associatingmembers of Ports 305A-305G to different members of VLANs 310A-310D.

Access Control 320 may selectively grant access to different parts ofProtected Network 200 if ACL 340B is configured to allow access todifferent elements within Protected Network 200 than ACL 340A isconfigured. For example, in one embodiment, Access Device 230 willreceive access to all of Less-Restricted Subset 210 if Port 305A isassociated with VLAN 310A, or alternatively Access Device 230 willreceive access to only a part of Less-Restricted Subset 210 if Port 305Ais associated with VLAN 310B. When Port 305A is associated with VLAN310A, as in FIG. 3B, communication from Access Device 230 is directedthrough Port 335A of Router 220 subject to ACL 340A and, thus, mayaccess only those elements of Protected Network 200 allowed by ACL 340A.When Port 305A is associated with VLAN 310B, communication from AccessDevice 230 is instead passed through Port 335B subject to ACL 340B andmay access only those elements of Protected Network 200 permitted by ACL340B. A selection between granting access to a first or second part ofProtected Network 200 can, therefore, be made using Access Control 320.The selection is optionally responsive to the security policy used inApply Security Policy Step 460, to whether the security policy was fullyor partially satisfied, to data obtained in Authenticate User Step 440or Obtain Audit Data Step 450, or the like.

As illustrated in the above example, a member of Ports 305A-305G,through which Access Device 230 is requesting access, may bereconfigured to more than one alternative setting in Reconfigure PortStep 470. For example, in various embodiments a communication port maybe reconfigured to a prior administrator specified configurationpreviously read in Update Port Log Step 410, reconfigured to be linkedto a specific port responsive to the request received in Receive AccessRequest Step 430, reconfigured to grant access to a particular part ofLess-Restricted Subset 210, reconfigured to a default setting, and/orthe like. By reading administrator specified port configurations inUpdate Port Log Step 410 and reconfiguring communication ports back tothese read configurations in Reconfigure Port Step 470, an administratormay reconfigure Protected Network 200 without concern that theirspecifications will be lost or permanently overwritten by methods of theinvention. In embodiments wherein a communication port is notreconfigured to a previous administrator specified configuration, UpdatePort Log Step 410 is optional.

In Communicate Step 480, communication occurs between Access Device 230and elements of Less-Restricted Subset 210 via the communication portreconfigured in Reconfigure Port Step 470. However, in some embodiments,ACL 340A is configured to allow access to GateKeeper 225 as well asLess-Restricted Subset 210. Thus, general network traffic does not needto pass through GateKeeper 225, while communication regarding securityof Protected Network 200 is optionally received by GateKeeper 225.Further communication between Access Device 230 and GateKeeper 225 mayprovide a variety of advantages. For example, further communicationbetween GateKeeper 225 and an agent executing on Access Device 230 mayallow for continuing audits of security aspects of Access Devices 230.These audits may be similar to those performed in Apply Security PolicyStep 460. In one embodiment, ACL 340A is configured to grant access toall of Protected Network 200.

Further communication between GateKeeper 225 and an agent executing onAccess Device 230 may also allow for a user of Access Device 230 toexplicitly logoff Protected Network 200. An explicit logoff will resultin reconfiguration of Port 305A such that access is again restricted toRestricted Subset 205. A logoff may alternatively be responsive to atimeout of communication with Access Device 230, a SNMP trap messageindicating a connection has been broken, or the like.

According to embodiments like that disclosed in U.S. Provisional PatentApplication No. 60/513,080, the disclosure of which has beenincorporated herein by reference, an AP (e.g., a switch or wirelessaccess point (WAP) which is used to connect end points to the corporatenetwork) may be programmed to prohibit access by the PC (e.g., notebook,desktop PC, PDA, or similar computing device) to the corporate networkuntil authentication with the authentication server passes AND an auditwith the software agent with the GK (e.g., software that acts as agatekeeper by granting or denying access to the corporate network fromend points after auditing the end point based on certain criteria)passes, while still supporting the existing encryption andauthentication functionality. The method used to support auditingfunctionality over the existing 802.1x protocol implementation iscomplicated and not an obvious variation of the 802.1x protocol.

According to an embodiment like that disclosed in U.S. ProvisionalPatent Application No. 60/513,080, the disclosure of which has beenincorporated herein by reference, the auditing protocol takes placebetween the EP (e.g., end point which can either be a PC or networkdevice) agent software and the GK. A client filter redirects calls foraudit information to an agent on the EP and sends the responses to the802.1x compliant AP which relays them to the EAP server. The EAP serverthen calls a server filter which sends the responses to the GK forevaluation. The GK sends requests for more information on the reversepath and this continues until the audit is completed. If the audit issuccessful, the server sends a message to the AP which enables the EP'sport allowing access for the PC. If the audit fails, the port on the APis left disabled.

According to an exemplary embodiment, client filters (CF) and serverfilters (SF) are added along with an agent and GK to perform audits, ashighlighted in FIG. 5. There may be one or more instances of the CF andSF, which correspond to the separate EAP Authentication Modules (EAPM)that are supported. Note that the agent and GK are logical components.The functionality of the agent and GK can be embedded into the CF andSF, respectively, or in the case of the GK, may reside on a separateserver.

The CF and SF APIs have APIs which correspond to the EAPM APIs.Therefore, the EAP Client Layer (ECL) or EAP Server Layer (ESL) can callthe CF and SF instances corresponding to a particular authenticationmethod as shown in FIGS. 6A and 6B. To the ECL and ESL, each instance ofthe CF and SF appears to be an EAPM which incorporates the functionalityof the original EAPM prior to completion of the success response by theserver EAPM.

To use the invention as disclosed in U.S. Provisional Patent ApplicationNo. 60/513,080, the disclosure of which has been incorporated herein byreference, the ECL and ESL are configured to use the instance of the CFand SF corresponding to the desired authentication method. Thisauthentication method corresponds to an authentication method supportedby one of the EAPMs.

The ECL calls the corresponding CF to perform authentication, which atfirst calls the appropriate EAPM to obtain the proper authenticationresponse. The authentication response is returned by the CF to the ESL,which sends the response to the server's ESL, SF, and EAPM. This processcontinues until the authentication either succeeds or fails, at whichtime the server's authentication EAPM returns a success or failureresponse to the SF.

If the SF receives a success response from the server EAPM as shown inFIG. 7, the SF changes to the audit state and calls GK to obtain auditrequests to send back to the client. In this state, the SF returnsspecially formatted audit requests to the ESL which are passed to theECL, and eventually to the CF which sends back audit responses to the SFrequests.

On the client, audit requests are passed to the agent API instead of tothe client EAPM. The agent returns information about the local system,which is converted to audit responses that are sent to the server.

During the audit state, the SF and CF exchange audit requests andresponses about the EP as shown in FIGS. 8A and 8B. The ECL and ESLcontinue to communicate with the CF and SF, but instead of calling theEAPM, the CF and SF call the agent and GK respectively, to perform thisexchange. The audit session continues until the necessary auditinformation has been passed to the SF.

If the audit indicates the client EP is in compliance, the SF returns asuccess response. If the VLAN for the EP is specified in the policy,then the VLAN that should be used for this EP is passed back as well.

If the GK determines that the EP has failed the audit, GK returns afailure response to SF which causes one of the following: (1) the SFreturns a failure to ECL, and the corresponding port on the AP is leftdisabled, or (2) the SF returns a success response to the ECL butspecifies that the EP should be set to a restricted VLAN where the EPhas limited network access. In either case, the EP is isolated from thecompany network until it successfully passes an audit with the GK.

After the audit has been performed, “keep alives” and updates regardingchanges to previous audit information are exchanged. Changes arereevaluated and if inconsistent with the current state, access to thenetwork is modified appropriately by changing the VLAN used for the EPor by terminating access by the EP by communicating with the AP.

Several embodiments are specifically illustrated and/or describedherein. However, it will be appreciated that modifications andvariations are covered by the above teachings and within the scope ofthe appended claims without departing from the spirit and intended scopethereof. For example, the teachings herein may be applied to embodimentswherein Access Point 215 is a wireless access point and MAC addresses,or the like, are used instead of VLANs to separate traffic fromdifferent instances of Access Device 230. It is, thus, anticipated thatnetwork management techniques other than VLANs may be used todistinguish Less-Restricted Subset 210 from Restricted Subset 205. Insome embodiments, various aspects of GateKeeper 225 may be incorporatedinto Access Point 215 and/or Router 220. GateKeeper 225 and PolicyManager 250 are each optionally implemented on a plurality of computingdevices within Restricted Subset 205.

In some embodiments, GateKeeper 225 uses DHCP 260 to assign IP addressesfrom a restricted IP address range depending on the compliance of AccessDevice 230 to security policies 330A-330B. GateKeeper 225 inserts DHCPoptions and/or modifies the IP source addresses of DHCPDISCOVER andDHCPREQUEST packets, based on the compliance of the Access Device 230 tosecurity policies 330A-330B. DHCP 260 is configured to provide anaddress from the restricted address range or the less-restricted addressrange based on the source address and/or options present in the DHCPrequest or discover packets that have been modified by GateKeeper 225.In some embodiments, the insertion of DHCP options and/or modificationof IP source addresses may be used to characterize restricted andless-restricted subnets, rather then configuring port associations withVLANs as discussed herein.

The embodiments discussed herein are illustrative of the presentinvention. As these embodiments of the present invention are describedwith reference to illustrations, various modifications or adaptations ofthe methods and or specific structures described may become apparent tothose skilled in the art. All such modifications, adaptations, orvariations that rely upon the teachings of the present invention, andthrough which these teachings have advanced the art, are considered tobe within the spirit and scope of the present invention. Hence, thesedescriptions and drawings should not be considered in a limiting sense,as it is understood that the present invention is in no way limited toonly the embodiments illustrated.

1. A method for applying a security policy to network devices, themethod comprising: performing authentication from a device connected toan access point; collecting third party audit data pertaining to thedevice; applying a security policy that includes requirements pertainingto the authentication and the third party audit data, the applying ofthe security policy taking place at a gatekeeper.
 2. The method of claim1, wherein the gatekeeper configures access to a subset of the networkby the device in response to applying the security policy.
 3. The methodof claim 2, wherein configuring access includes assigning an accesscontrol list.
 4. The method of claim 2, wherein configuring accessincludes assigning a VLAN.
 5. The method of claim 1, wherein performingauthentication identifies the user of the device.
 6. The method of claim1, wherein performing authentication identifies the device.
 7. Themethod of claim 1, wherein performing authentication includes using theEAP protocol.
 8. The method of claim 1, wherein the security policyincludes an application on the device.
 9. The method of claim 1, whereinthe security policy includes operating system of the device.
 10. Themethod of claim 1, wherein the security policy includes other devicescoupled to the device.
 11. The method of claim 1, wherein the securitypolicy includes operating system of the device.
 12. The method of claim1, wherein the security policy includes a requirement for the user toenter a password.
 13. The method of claim 1, wherein the security policyincludes antivirus software running on the device.
 14. The method ofclaim 1, wherein the gatekeeper takes part in facilitating updates to asoftware on the device in response to applying the security policy. 15.The method of claim 1, wherein the audit data includes informationpertaining to an application on the device.
 16. The method of claim 1,wherein the audit data includes information pertaining to the operatingsystem of the device.
 17. The method of claim 1, wherein the audit dataincludes information pertaining to the security vulnerabilities on thedevice.
 18. The method of claim 1, wherein the audit data includesinformation pertaining to the configuration of the device.
 19. Themethod of claim 1, wherein the gatekeeper takes part in bringing asoftware on the device up to date in response to applying the securitypolicy.